Mark G. Buchanan
Professional summary
Mark Gregory Buchanan, CFP® is a registered financial advisor currently at CANOPY WEALTH MANAGEMENT located in Middleton, Wisconsin.
Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Mark has worked at 2 firms and has passed the Series 63, Series 7TO, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Mark Gregory Buchanan's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 22, 2021 - Present
CANOPY WEALTH MANAGEMENT
Office #1: 8215 Greenway Boulevard Suite 540, Middleton, WI 53562March 14, 2016 - July 19, 2021
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
Primary Firm SEC Registration
CANOPY WEALTH MANAGEMENT
CRD#: 297717 / SEC#: 801-113774
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(8/26/2021)
(6/22/2021)
(6/22/2021)
(6/22/2021)
Exams
Series 7TO
Date: 3/10/2024
General Securities Representative ExaminationCurrent Firm
CANOPY WEALTH MANAGEMENT
CRD#: 297717 / SEC#: 801-113774
Contact information
SEC notice filing (21 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,059 |
| AUM (Assets Under Management) | $ 1,474,786,629 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 10/28/2024 | ||
| 01/26/2024 | ||
| 01/03/2023 |
Red Flags
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